SEC Form 4 · accession 0001490906-18-000063
Capitol Federal Financial, Inc. · CFFN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Natalie G. Haag
Officer — Executive Vice President
Period of report
Nov 1, 2018
Accepted (ET)
Nov 1, 2018 · 12:37 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001490906
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| CFFN common stock | Nov 1, 2018 | P | 4,860 | $12.2853 | A | 58,870 | D | |
| CFFN common stock | holding | — | — | — | 13,042 | I | ESOP |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| CFFN phantom stock 2015F1 | $12.56 | holding | — | — | — | Dec 31, 2018 | Dec 31, 2018 | CFFN common stock | 2,780 | 2,780 | D |
| CFFN Phantom Stock 2016F1 | $16.46 | holding | — | — | — | Dec 31, 2019 | Dec 31, 2019 | CFFN common stock | 2,690 | 2,690 | D |
| CFFN Phantom Stock 2017 | $13.41 | holding | — | — | — | Jan 2, 2021 | Jan 2, 2021 | CFFN common stock | 3,694 | 3,694 | D |
Explanation of responses
- F1The phantom stock units are acquired under the Issuer's Deferred Incentive Bonus Plan and settled in cash three years from the date of acquisition.